5th Edition PMBOK® Guide—Chapter 12: Process 12.3 Control Procurements

1.  Introduction

There are four procurement-related project management processes, one in each of the following process groups:  planning, executing, monitoring & controlling, and closing.  The third process is therefore in the Monitoring & Executing Process Group, and is the process which manages the procurement relationship (the monitoring part) and makes changes to the procurement contract if necessary (the controlling part).

This post is devoted to the Inputs, Tools & Techniques, and the Outputs of this third of the four procurement processes, 12.3 Control Procurements.

2.  Inputs

The inputs come from the Project Management Plan (output of process 12.1 Plan Procurement Management) and the awards of procurement contracts and the Agreements themselves (output of process 12.2 Control Procurements).

During the course of the procurement process, work performance data and reports are used to monitor the procurement.  If there are changes to the procurement, these are an output of the process, but any approved changes are implemented as an input to the process.

12.3  Control Procurements
1. Project Management Plan This gives the guidelines which describes how the procurement process will be managed.
2. Procurement Documents Includes the awards of procurement contracts and the procurement statement of work (SOW).
3. Agreements Describes terms and conditions that specify what the seller is to perform or provide to the buyer.
4. Approved Change Requests Any proposed changes to the procurement which are approve through the Integrated Change Control Process.
5. Work Performance Reports
  • Technical documentation—contains technical information on the deliverables
  • Work performance documentation—indicates progress on completion of deliverables
6. Work Performance Data
  • Extent to which quality standards are being satisfied
  • Costs that have been incurred or committed
  • Identification of paid seller invoices
1. Contract Change Control System Process by which the procurement can be modified.  This is part of the overall Integrated Change Control System for the project.
2. Procurement Performance Reviews Structured review of the seller’s progress to deliver the project scope and quality, within cost and on schedule.
3. Inspections and Audits Required by buyer and supported by seller to support the compliance of seller’s processes and deliverables.
4. Performance Reporting Work performance and data are compared against agreement requirements.
5. Payment Systems Accounts payable system of the buyer documents all payments in strict accordance with terms of contract.
6. Claims Administration Contested changes to the procurement are referred to as claims, disputes, or appeals, and are resolved by the parties involved or through the alternative dispute resolution (ADR).
7. Records Management System Manages contract and procurement documentation and records.
1. Work Performance Information Reports on compliance with contracts.  Provides basis for identification of current or potential problems to be resolved.
2. Change Requests Change requests are processed for review in Integrated Change Control Process.
3. Project Management Plan Updates
  • Procurement Management Plan
  • Schedule baseline
  • Cost baseline
4. Project Documents Updates Procurement documentation is updated:

  • Procurement contract
  • Approved change requests
  • Unapproved change requests
  • Financial records (invoices, payment records)
5. OPAs Updates
  • Correspondence
  • Payment schedules and requests
  • Seller performance evaluation documentation

2.  Tools & Techniques

The monitoring part of the process comes through procurement performance reporting, performance reviews, inspections and audits, the records management system and the accounts payable system.

If the controlling part of the process suggests changes be made in the procurement, then the change requests to the contract are handled as part of the overall Integrated Change Control System on the project.   The difference with the Contract Change Control System is that any disagreement between the parties involved becomes a claim (sometimes called a dispute or an appeal) that must be resolved between the parties in Claims Administration or through an independent Alternative Dispute Resolution (ADR) process.

3.  Outputs

As mentioned above, change requests may be an output of the process, which are fed into the Contract Change Control System and the overall Integrated Change Control System.  If they are approved, they are inputs to this process to be implemented.  If they are not approved, they go into the project documents updates.

Work performance information may be used to see if there are current or potential problems that need addressing through change requests or simply through changes in the seller’s own operations with regard to the procurement.

If change requests are required, the impact of the change on the scope, schedule, and budget of the project will result in changes to the respective plan in the Project Management Plan.

Various project documents are updated because of this process, and so are documents that the organization may refer to in future projects (OPAs updates).

The final process in the procurement knowledge area is 12.4 Close Procurements, and that is the subject of the next post.


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